Securities and Exchange Commission December 2015 – Federal Register Recent Federal Regulation Documents

Results 151 - 192 of 192
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 To Establish the Securities Trader and Securities Trader Principal Registration Categories
Document Number: 2015-31276
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31276.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 22.10, Limitation on Dealings, Related to the EDGX Options Market
Document Number: 2015-31275
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31275.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-31179
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31179.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-31178
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31178.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.54
Document Number: 2015-31177
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31177.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Gross Margining for Certain Categories of Customer Accounts
Document Number: 2015-31176
Type: Notice
Date: 2015-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31176.html
Alcentra Capital Corporation, et al.; Notice of Application
Document Number: 2015-31070
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit business development companies (``BDCs'') and certain closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment funds. Applicants: Alcentra Capital Corporation (the ``Company''); BNY Mellon Alcentra Multi-Strategy Credit Fund, Inc. (``BAMSCF,'' and together with the Company, the ``Existing Regulated Funds''); Alcentra BDC Equity Holdings, LLC (the ``Subsidiary''); Alcentra Middle Market Fund IV, L.P. (the ``Existing Co-Investment Affiliate''); Alcentra NY, LLC (``Alcentra NY''); Alcentra Limited (together with Alcentra NY, the ``Alcentra Advisers''), and The Dreyfus Corporation (``Dreyfus'').
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31070.html
Submission for OMB Review; Comment Request
Document Number: 2015-31069
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31069.html
Submission for OMB Review; Comment Request
Document Number: 2015-31068
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31068.html
Submission for OMB Review; Comment Request
Document Number: 2015-31067
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31067.html
Submission for OMB Review; Comment Request
Document Number: 2015-31066
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31066.html
Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2015-31065
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31065.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
Document Number: 2015-31064
Type: Notice
Date: 2015-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31064.html
Sunshine Act Meeting
Document Number: 2015-31106
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-31106.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility
Document Number: 2015-30971
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30971.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis
Document Number: 2015-30945
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30945.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis
Document Number: 2015-30944
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30944.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program
Document Number: 2015-30943
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30943.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Comply With the Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act
Document Number: 2015-30942
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30942.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Record Keeping Change and Substitution Listing Event Fees for Securities Listed Under the Rule 5700 Series
Document Number: 2015-30941
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30941.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.44 and 7.44P To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That are Routed on Behalf of Introduced Retail Accounts That are Carried on a Fully Disclosed Basis
Document Number: 2015-30940
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30940.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts)
Document Number: 2015-30939
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30939.html
Proposed Collection; Comment Request
Document Number: 2015-30866
Type: Notice
Date: 2015-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30866.html
Sunshine Act Meeting
Document Number: 2015-31071
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-31071.html
Sunshine Act Meeting
Document Number: 2015-30946
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30946.html
Nuveen Fund Advisors, LLC, et al.; Notice of Application
Document Number: 2015-30867
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30867.html
Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Document Number: 2015-30838
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30838.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132-Equities To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change
Document Number: 2015-30837
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30837.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor To Submit Certain Data Elements and Badge Information and To Make a Conforming Change
Document Number: 2015-30836
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30836.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To List and Trade Shares of the Active Alts Contrarian ETF of ETFis Series Trust I
Document Number: 2015-30835
Type: Notice
Date: 2015-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30835.html
Proposed Collection; Comment Request
Document Number: 2015-30746
Type: Notice
Date: 2015-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30746.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Document Number: 2015-30721
Type: Notice
Date: 2015-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30721.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection
Document Number: 2015-30720
Type: Notice
Date: 2015-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30720.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the Market Vectors Dynamic Put Write ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2015-30609
Type: Notice
Date: 2015-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/04/2015-30609.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to Order Exposure
Document Number: 2015-30607
Type: Notice
Date: 2015-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/04/2015-30607.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Permit P.M.-Settled Options on Broad-Based Indexes To Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program
Document Number: 2015-30608
Type: Notice
Date: 2015-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/03/2015-30608.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE MKT Integrated Feed
Document Number: 2015-30480
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30480.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program
Document Number: 2015-30479
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30479.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Document Number: 2015-30413
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30413.html
Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption From Registration as a Clearing Agency
Document Number: 2015-30412
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30412.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to BX Price Improvement Auction (PRISM)
Document Number: 2015-30386
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30386.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Managed Fund Shares in the Lead Market Maker Program
Document Number: 2015-30384
Type: Notice
Date: 2015-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30384.html
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